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Original filing (PDF)20250822142051NAL0009108304001
DICK BROWNING, INC.
Form 5500
FILING_RECEIVED
BROWNING 401(K) SAVINGS PLAN
401(k) retirement plan
Active participants
636
Accounts w/ balance
763
Plan assets (EOY)
$31.0M
Net assets (EOY)
$31.0M
How this plan invests
This plan
19 pooled trusts
Schedule D
29 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
91
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
65
Vendor stack
100
Participation health
100
Knocking points off
- 47 bps in Schedule C fees — 62% above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for DICK BROWNING, INC..
Plan sponsor
Name
DICK BROWNING, INC.
EIN
95-2135880
Address
18803 STUDEBAKER RD · CERRITOS, CA · 90703
Phone
(562) 207-0457
Industry
Retail Tradesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-08-22
Pension benefit codes
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
WINDES
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY O | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $77K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ACCELERATE INVESTMENT ADVISORS LLC | — | ALISO VIEJO, CA | INVESTMENT ADVISOR | $60K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| NFP RETIREMENT INC. | — | ALISO VIEJO, CA | OTHER | $9K | — |
Investments
13 direct securities · 19 pooled funds· $31.1M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Common Collective Trust
$19.6M
18 holdings
Uncategorized
$11.4M
13 holdings
Pooled Separate Account
$102K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| American Funds American Balanced R6 Mutual Fund | — | — | — | $6.5M | 20.9% | |
| STATE ST SANDP 500 INDX SL CL II STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 04-0025081 / PN 000 | Common Collective Trust | — | — | $5.5M | 17.7% | |
| STATE ST TARGET RET 2035 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 317 | Common Collective Trust | — | — | $2.3M | 7.4% | |
| STATE ST TARGET RET 2025 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 315 | Common Collective Trust | — | — | $2.0M | 6.3% | |
| STATE ST TARGET RET 2030 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 316 | Common Collective Trust | — | — | $1.9M | 6.2% | |
| STATE ST TARGET RET 2050 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 320 | Common Collective Trust | — | — | $1.8M | 5.8% | |
| STATE ST TARGET RET 2055 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 325 | Common Collective Trust | — | — | $1.5M | 4.9% | |
| STATE ST TARGET RET 2045 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 319 | Common Collective Trust | — | — | $1.5M | 4.9% | |
| Notes receivable from participants 4.25% - 9.50% | — | — | — | $1.5M | 4.8% | |
| STATE ST TARGET RET 2040 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 318 | Common Collective Trust | — | — | $1.0M | 3.3% | |
| JHancock Bond R6 Mutual Fund | — | — | — | $999K | 3.2% | |
| Apex Guaranteed Fixed Interest Fund Y-V3 Fixed Annuity | — | — | — | $947K | 3.0% | |
| STATE ST TARGET RET 2060 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 454 | Common Collective Trust | — | — | $728K | 2.3% | |
| STATE ST TARGET RET INCOME SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 326 | Common Collective Trust | — | — | $523K | 1.7% | |
| MFS Mid Cap Value R6 Mutual Fund | — | — | — | $492K | 1.6% | |
| STATE ST TARGET RET 2065 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 04-0025081 / PN 326 | Common Collective Trust | — | — | $491K | 1.6% | |
| Fidelity Advisor International Growth Z Mutual Fund | — | — | — | $311K | 1.0% | |
| Allspring Special Small Cap Value R6 Mutual Fund | — | — | — | $237K | 0.8% | |
| Principal Small Cap Growth I R6 Mutual Fund | — | — | — | $196K | 0.6% | |
| STATE ST TARGET RET 2020 SL CL VI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 314 | Common Collective Trust | — | — | $181K | 0.6% | |
| JPMorgan Mid Cap Growth R6 Mutual Fund | — | — | — | $118K | 0.4% | |
| LARGE CAP GROWTH/JP MORGAN INV MGMT EMPOWER ANNUITY INSURANCE COMPANY · EIN 06-1050034 / PN 141 | Pooled Separate Account | — | — | $102K | 0.3% | |
| SSGA RUSSELL SMALL CAP INDEX FD CLA STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 000 | Common Collective Trust | — | — | $89K | 0.3% | |
| State St S&P Mid Cap Index SL CL XIV Collective Trust Fund | — | — | — | $59K | 0.2% | |
| STATE ST SANDP MIDCAP INDX SL CL XI STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 000 | Common Collective Trust | — | — | $59K | 0.2% | |
| SSGA REAL ASSET FUND CLASS C STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 280 | Common Collective Trust | — | — | $55K | 0.2% | |
| STATE ST US BND INDX SL CL XIV STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 000 | Common Collective Trust | — | — | $33K | 0.1% | |
| Putnam International Value R6 Mutual Fund | — | — | — | $9K | <0.1% | |
| Victory Trivalent International Sm-Cp I Mutual Fund | — | — | — | $5K | <0.1% | |
| JPMorgan U.S. Value R6 Mutual Fund | — | — | — | $4K | <0.1% | |
| GREAT-WEST TRUST DRIVE BALANCE FUND GREAT-WEST TRUST COMPANY, LLC · EIN 47-7326992 / PN 110 | Common Collective Trust | — | — | $0 | <0.1% | |
| GREAT-WEST TRUST DRIVE INCOME FUND GREAT-WEST TRUST COMPANY, LLC · EIN 47-7319764 / PN 111 | Common Collective Trust | — | — | $0 | <0.1% |
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